N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant Kevin L. Doss Name of Respondent 95-02079 Merrill Lynch, Pierce, Fenner & Smith, Inc Name of Third Party Respondent Dean Witter Reynolds Inc. REPRESENTATION For Claimant Kevin L. Doss ("Claimant") and Third Party Respondent Dean Witter Reynolds Inc. ("Dean Witter") appeared Kenneth A. Bravo, Esq. from the law firm of Ulmer & Berne

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber Incorporated, Claimant, v. No. 95-02077 REPRESENTATION OF PARTIES PaineWebber Incorporated ("Claimant") was represented by Lisa Catalano Tillem, Esq., of PaineWebber Incorporated, Weehawken, New Jersey. Raymond Gans ("Respondent") appeared on his own behalf. CASE INFORMATION Claimant's Statement of Claim was filed on or about Apri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert H. Cooper 95-02075 Name of Resoondeng Biltmore Securities Inc. Michael Steinberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 28, 1995, Claimant Robert H. Cooper, who appeared Pro Se, alleged that Respondents Biltmore Securities Inc. ("BSI") and Michael Steinberg ("

N.A.S-D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In [he Matter of the Arbitration Between *, Name of Claimant Atlantic Business Group.Inc; 95-02073 Name of Respondents Smith Barney Shearson, Inc. William H. Tierney CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 28, 1995, Claimant Atlantic Business Group, Inc. ("Claimant"), through its representative and President, Michael J. Feen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corp. 95-02072 Name of Respondent Jason McElhone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 28, 1995, Gaimant Paragon Capital Corp., through its representative and Compliance Director, Michele D. Wessel, located in New York, NY, alleged that Respondent Jason

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard Steele Claimant and NASD Arbitration No. 95-02070 Dean Witter Reynolds Inc. Respondent REPRESENTATION OF PARTIES Richard Steele ("Claimant") was represented by James F. Fotenos, Esq., San Francisco, California. Dean Witter Reynolds Inc. ("Respondent") was represented by Curt H. Mueller, Esq., San Francisco, California. CASE IN

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between John Kent, Claimant, and No. 95-02066 Berkeley Securities Corporation, William Baquet, Phyllis A. Henderson, and Daniel J. Subarsky, Respondents. REPRESENTATION OF PARTIES Claimant John Kent ("Claimant") was represented by Melvin G. Mosely, Jr., Esq. of Warner Norcross & Judd located in Grand Rapids, Michigan. Respondents Berkeley Securities

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name James ML Mosher NASD Arbitration No.95-02062 Name of Respondent Edward D. Jones & Company Abraham Dye JackCahill REPRESENTATION For Claimant: Jeffrey N* Daly, Esq., Walnut Creek, California For Respondent: Mary Aim Wymore, Esq., Greensfelder, Hemker & Gale, P.C, St. Louis, Missouri CASE INFORMATION Statement of Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01889 Ameritrade, Inc., claimant vs. Dennis A. Rose, Jr., respondent. ATTORNEYS: For Claimant appeared James A. Vihstadt, Esq., in-house counsel, Bellevue, NE. Respondent did not submit a response to the Statement of Claim. DATE FILED: April 16, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance owed in his account. Claim Data Award Data Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants • Paul and Barbara M. Gelner as Trustees for the Paul and Barbara Gelner Trust 95-02052 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 28, 1995, Claimants- Paul and Barbara M..Gelner as Trustees for the Paul and